Continuing the Business of Government

1. Continuing the Business of Government Continuity of Operations (COOP) in the Federal Government Ron Miller, Senior Advisor Homeland Security Transition Planning Office December 11, 2002

2. Purpose • To describe Continuity of Operations (COOP) roles and responsibilities as they pertain to the Federal Government • Overview and Requirements • Executive Agent for COOP • COOP Guidance for Departments and Agencies

3. Definition COOP: Effort within individual departments and agencies to assure continuance of their minimum essential functions across a wide range of potential emergencies.

4. Why COOP? • Good business practice • Assures ability to fulfill essential roles and functions • Response to all hazards and full spectrum of threats • Natural • Man-made • Technological • National security emergencies • Security of the homeland • Delivery of essential services regardless of terrorist threats or attacks

5. Executive Agent for COOP Planning • FEMA is currently executive agent for COOP planning • Soon to become a DHS responsibility under the Emergency Preparedness & Response Directorate • Provide guidance • Establish interagency coordinating mechanisms • Coordinate assessment of Federal COOP capability • Assist D/As as appropriate

6. COOP Planning Guidance • First Steps • Identify essential functions that must continue to be performed • Ensure proper staffing of those functions • Identify mission-critical data and systems supporting the essential functions

7. COOP Planning Guidance(cont’d) • Elements of a viable COOP Capability • Line of succession • Delegation of authorities • Alternate facilities • Safekeeping vital records • Administration and logistics • Operating procedures • Personnel issues • Security • Communications • Exercises and training

8. COOP Plan Elements • Line of Succession and Delegation of Authorities • Establish rules and procedures addressing: • Conditions for succession • Method of notification • Time, geographical, organizational limitations • Identify which authorities can/should be delegated • Identify to whom authorities should be delegated • Identify limitations of delegations

9. COOP Plan Elements (cont’d) • Alternate Facilities • Identify from existing agency facilities • Consider cooperative agreements and sharing with other agencies • Virtual office

10. COOP Plan Elements (cont’d) • Vital Records • Plan for protection, duplication, movement of records (hard copy and electronic) vital to agency’s essential functions • Emergency operating records • Plans and directives • Orders of succession • Delegations of authority • Staffing assignments

11. COOP Plan Elements (cont’d) • Vital Records (cont’d) • Legal and Financial Records • Personnel records • Social Security records • Payroll records • Retirement records • Insurance records • Contract records

12. COOP Plan Elements (cont’d) • Administration and Logistics • Identify, preposition, and maintain equipment and other resources required at alternate site • Computer equipment and software • File cabinets, desks, chairs • Office supplies • Vehicles

13. COOP Plan Elements (cont’d) • Operating Procedures • List essential functions • Roster personnel with authority and knowledge of functions • Develop procedures for alerting, advising, moving employees • Plan to notify customers of new work location, phone numbers • Develop procedures for performing essential functions • Develop procedures for acquiring resources necessary to sustain operations for up to 30 days

14. COOP Plan Elements (cont’d) • Personnel Issues • Address the health, safety, emotional well-being of all employees and their families • Address pay status, administrative leave, layoffs • Address medical, special needs, travel issues

15. COOP Plan Elements (cont’d) • Security • Ensure employee security clearances commensurate with their emergency duties • Security of alternate facility (access by employees, customers) • Communications security

16. COOP Plan Elements (cont’d) • Interoperable Communications • Identify and make available at alternate facility the data and communications systems to support essential functions • Internal and external communications • Secure and non-secure communications • Voice, fax, data, Internet, e-mail

17. COOP Plan Elements (cont’d) • Exercises and Training • Plan training for identified COOP personnel (individual/team) • Periodically test alert and notification procedures • Plan periodic exercise of operational plans, alternate facilities, interoperable communications • Plan joint agency exercises • Establish remedial action plan

18. Business Continuity • Think of COOP planning as business continuity planning • How will you continue to provide essential services to your customers if you are denied the use of your primary facilities?

19. Q&A